Statement of Changes in Beneficial Ownership (4)
June 21 2021 - 4:54PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Corre Partners Management, LLC |
2. Issuer Name and Ticker or Trading Symbol
Horizon Global Corp
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HZN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
12 EAST 49TH STREET, 40TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/16/2021 |
(Street)
NEW YORK, NY 10017
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/16/2021 | | A | | 8188 | A | $0 | 8188 | I (1) | See Footnote (1) |
Common Stock | 6/16/2021 | | G |
V
| 8188 | D | $0 | 0 | I (2) | See Footnote (1)(2) |
Common Stock | 6/16/2021 | | G |
V
| 8188 | A | $0 | 2114333 | I (2)(3) | See Footnote (2)(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Reflects a grant of restricted stock units ("RSUs") as director compensation to John Barrett, a managing partner of Corre Partners Management, LLC ("Corre"). Mr. Barrett currently serves on the board of directors of the Issuer, and Corre may be deemed to be a director by deputization of the Issuer. |
(2) | Mr. Barrett transferred 6,418 restricted stock units to Corre Opportunities Qualified Master Fund, LP, and 1,770 restricted stock units to Corre Horizon Fund, LP, clients of Corre, immediately following the grant thereof. |
(3) | The reported securities are directly owned by clients of Corre. The securities may be deemed to be beneficially owned by Corre because Corre serves as the investment manager to each such client. Corre disclaims any beneficial ownership of such securities in excess of its actual pecuniary interest. |
Remarks: Corre may be deemed to be a director by deputization for purposes of Section 16 under the Securities Exchange Act of 1934 by virtue of the fact that John Barrett, a managing partner of Corre, currently serves on the board of directors of the Issuer. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Corre Partners Management, LLC 12 EAST 49TH STREET 40TH FLOOR NEW YORK, NY 10017 | X |
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| See Remarks |
Signatures
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/s/ Paula Reno, Attorney-in-Fact | | 6/21/2021 |
**Signature of Reporting Person | Date |
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